Nex Systems
Type not stated

BMO CAPITAL MARKETS GKST INC.

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090186427-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BMO Capital Markets GKST Inc., Respondent Broker-Dealer CRD No. 8352 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BMO Capital Markets GKST Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2009018642701finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.